Capital Southwest Corporation
US ˙ NasdaqGS ˙ US1405011073

SecurityCSWC / Capital Southwest Corporation
InstitutionFirst Manhattan Co
Latest Disclosed Ownership719,070 shares
Ownership 4.55%
First Manhattan Co ownership in CSWC / Capital Southwest Corporation

2018-02-09 - First Manhattan Co has filed an SC 13G/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 719,070 shares of Capital Southwest Corporation (US:CSWC). This represents 4.55 percent ownership of the company. In their previous filing dated 2017-02-10 , First Manhattan Co had reported owning 826,728 shares, indicating a decrease of -13.02 percent.

Institutional Ownership: 13D/G Filings

This table shows a history of the 13D/G filings made by the investor and/or investor group. Note that the share values in this table are not directly comparable to any numbers shown in the 13F table (if any).

File
Date		Effective
Date		Form Prev
Shares		 Latest
Shares		 ΔShares
(Percent)		 Ownership
(Percent)		 ΔOwnership
(Percent)
2018-02-09 2018-02-09 13G/A 826,728 719,070 -13.02 4.55 -12.84
2017-02-10 2017-02-10 13G/A 955,560 826,728 -13.48 5.22 -14.85
2016-02-12 2016-02-12 13G/A 955,560 6.13
2015-02-11 2015-02-11 13G 947,026 6.09

Important Note: One of the primary uses of the 13D/G filings is to evaluate the ability of a firm to control a company (ie, the "beneficial ownership"). To that end, firms are required to report not just direct holdings in companies, but indirect holdings that they control. For investment firms, these indirect holdings can include shares in funds they manage, advisory accounts, and in the case of activist campaigns, pledged votes. Therefore, share counts listed in 13D/G filings can differ significantly than share counts listed in 13F filings.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-15 2026-03-31 13F CAPITAL SOUTHWEST COM 140501107 188,859 -17,143 -8.32 4,178 -8.44 0.0116
2026-02-17 2025-12-31 13F CAPITAL SOUTHWEST COM 140501107 206,002 -12,903 -5.89 4,563 -4.66 0.0120
2025-11-14 2025-09-30 13F CAPITAL SOUTHWEST COM 140501107 218,905 -40,081 -15.48 4,785 -16.17 0.0126
2025-08-14 2025-06-30 13F CAPITAL SOUTHWEST COM 140501107 258,986 -28,150 -9.80 5,708 -10.92 0.0161
2025-05-15 2025-03-31 13F CAPITAL SOUTHWEST COM 140501107 287,136 -14,814 -4.91 6,409 -2.73 0.0187
2025-02-14 2024-12-31 13F CAPITAL SOUTHWEST COM 140501107 301,950 -4,900 -1.60 6,589 -15.10 0.0193
2024-11-14 2024-09-30 13F CAPITAL SOUTHWEST COM 140501107 306,850 -53,196 -14.77 7,760 -17.39 0.0230
2024-08-15 2024-06-30 13F/A-1 CAPITAL SOUTHWEST COM 140501107 360,046 -13,279 -3.56 9,394 0.80 0.0301
2024-08-14 2024-06-30 13F CAPITAL SOUTHWEST COM 140501107 360,046 -13,279 9,394 0.0301
2024-05-15 2024-03-31 13F CAPITAL SOUTHWEST COM 140501107 373,325 -3,169 -0.84 9,319 4.43 0.0302
2024-02-13 2023-12-31 13F CAPITAL SOUTHWEST COM 140501107 376,494 -9,864 -2.55 8,923 0.86 0.0310
2023-11-14 2023-09-30 13F CAPITAL SOUTHWEST COM 140501107 386,358 -7,020 -1.78 8,848 14.05 0.0327
2023-08-14 2023-06-30 13F CAPITAL SOUTHWEST COM 140501107 393,378 -7,929 -1.98 7,757 8.72 0.0284
2023-05-15 2023-03-31 13F CAPITAL SOUTHWEST COM 140501107 401,307 -15,033 -3.61 7,135 0.22 0.0274
2023-02-14 2022-12-31 13F CAPITAL SOUTHWEST COM 140501107 416,340 -7,776 -1.83 7,119 -0.90 0.0261
2022-11-14 2022-09-30 13F CAPITAL SOUTHWEST COM 140501107 424,116 -10,319 -2.38 7,184 -10.22 0.0304
2022-08-15 2022-06-30 13F CAPITAL SOUTHWEST COM 140501107 434,435 -2,036 -0.47 8,002 -22.74 0.0323
2022-05-16 2022-03-31 13F CAPITAL SOUTHWEST COM 140501107 436,471 97 0.02 10,357 -6.11 0.0339
2022-02-14 2021-12-31 13F CAPITAL SOUTHWEST COM 140501107 436,374 -16,620 -3.67 11,031 -3.29 0.0364
2021-11-15 2021-09-30 13F CAPITAL SOUTHWEST COM 140501107 452,994 -104 -0.02 11,406 8.37 0.0420
2021-08-16 2021-06-30 13F CAPITAL SOUTHWEST COM 140501107 453,098 -3,569 -0.78 10,525 4.01 0.0384
2021-05-14 2021-03-31 13F CAPITAL SOUTHWEST COM 140501107 456,667 -16,123 -3.41 10,119 20.58 0.0436
2021-02-16 2020-12-31 13F CAPITAL SOUTHWEST COM 140501107 472,790 -16,974 -3.47 8,392 21.96 0.0402
2020-11-12 2020-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 489,764 -21,675 -4.24 6,881 -0.19 0.0355
2020-08-14 2020-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 511,439 -32,248 -5.93 6,894 11.05 0.0398
2020-05-06 2020-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 543,687 -70,104 -11.42 6,208 -51.40 0.0402
2020-02-13 2019-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 613,791 -8,689 -1.40 12,773 -5.87 0.0641
2019-11-13 2019-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 622,480 -3,020 -0.48 13,570 3.56 0.0748
2019-08-16 2019-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 625,500 -9,402 -1.48 13,104 -1.90 0.0727
2019-04-12 2019-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 634,902 -11,092 -1.72 13,358 7.59 0.0771
2019-01-30 2018-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 645,994 -29,238 -4.33 12,416 -3.11 0.0773
2018-10-15 2018-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 675,232 -6,626 -0.97 12,815 3.78 0.0683
2018-08-01 2018-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 681,858 -32,561 -4.56 12,348 1.55 0.0712
2018-04-20 2018-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 714,419 -4,651 -0.65 12,159 2.18 0.0692
2018-01-22 2017-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 719,070 -6,154 -0.85 11,900 -4.21 0.0652
2017-10-25 2017-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 725,224 -43,759 -5.69 12,423 0.47 0.0711
2017-08-10 2017-06-30 13F/A-2 CAPITAL SOUTHWEST COMMON 140501107 768,983 -16,663 -2.12 12,365 -6.93 0.0721
2017-08-01 2017-06-30 13F/A-1 CAPITAL SOUTHWEST COMMON 140501107 768,983 0 12,365 0.0721
2017-07-28 2017-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 768,983 -16,663 12,365
2017-04-25 2017-03-31 13F/A-1 CAPITAL SOUTHWEST COMMON 140501107 785,646 -41,081 -4.97 13,285 -0.49 0.0789
2017-04-24 2017-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 842,086 12,378
2017-01-25 2016-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 826,727 -15,359 -1.82 13,351 7.86 0.0812
2016-10-20 2016-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 842,086 -56,960 -6.34 12,378 0.72 0.0755
2016-07-14 2016-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 899,046 -38,955 -4.15 12,289 -5.54 0.0755
2016-04-22 2016-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 938,001 -17,558 -1.84 13,010 -1.91 0.0800
2016-01-20 2015-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 955,559 12,500 1.33 13,263 -70.33 0.0814
2015-10-26 2015-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 943,059 -2,960 -0.31 44,701 -5.36 0.2874
2015-07-17 2015-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 946,019 -975 -0.10 47,234 7.45 0.2789
2015-04-30 2015-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 946,994 -32 -0.00 43,959 22.45 0.2532
2015-01-20 2014-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 947,026 139,307 17.25 35,901 24.26 0.2033
2014-10-23 2014-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 807,719 -178 -0.02 28,892 -0.69 0.1680
2014-08-14 2014-06-30 13F/A-1 CAPITAL SOUTHWEST COMMON 140501107 807,897 185,815 29.87 29,092 34.70 0.1844
2014-05-16 2014-03-31 13F CAPITAL SOUTHWEST COMMON 140501107 622,082 -3,574 -0.57 21,598 -1.00 0.1423
2014-02-04 2013-12-31 13F CAPITAL SOUTHWEST COMMON 140501107 625,656 200 0.03 21,816 1.96 0.1442
2013-10-29 2013-09-30 13F CAPITAL SOUTHWEST COMMON 140501107 625,456 469,092 300.00 21,396 -5.22 0.1494
2013-08-13 2013-06-30 13F CAPITAL SOUTHWEST COMMON 140501107 156,364 156,364 22,574 0.1553
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.